Client care & complaints handling

LSV.06 — Client Care & Complaints Handling

The framework is the SRA Standards and Regulations 2019: the Codes of Conduct (one for solicitors, one for firms) and the SRA Principles (7 principles — note Principle 1 is upholding the rule of law and proper administration of justice; the client's best interests is Principle 7, NOT first). Where Principles conflict, the wider public interest (and the rule of law/administration of justice) prevails over an individual client's interests.

Core client-care duties (Code of Conduct for Solicitors §8)

• Competent and timely service to the standard a reasonable client would expect; act with honesty and integrity (separate concepts — integrity is wider than mere honesty: Wingate v SRA [2018]).
• Information up front: the best possible information about likely overall cost and how the matter will be handled — given and kept under review (not a one-off at the start).
• Identify who the client is and act on instructions you reasonably believe are authorised.

Complaints handling (Code §8.2–8.5)

• At the time of engagement, tell the client in writing (a) how to complain, (b) to whom, (c) their right to complain about service and bills, and (d) any right to the Legal Ombudsman, its timescales and contact details.
• Complaints must be handled promptly, fairly and free of charge.
• If a complaint is not resolved within 8 weeks, inform the client in writing of the right to the Legal Ombudsman and how to contact it.

Legal Ombudsman (LeO) — service complaints

• Client must usually use the firm's process first; refer to LeO within 6 months of the firm's final response, and within 1 year of the act/omission (or of when they should reasonably have known).
• LeO can direct apology, work redone, refund/waiver of fees, and compensation up to £75,000.

SRA vs LeO — the key distinction (common trap)

• LeO = poor service (delay, bad communication, cost issues).
• SRA = misconduct/breach of Principles or Code (dishonesty, integrity, regulatory breaches). The SRA does not compensate clients.

Common traps

• "Client's best interests is the top/first Principle" — wrong (it is Principle 7; rule of law/public interest outranks it).
• Costs information is an ongoing duty, not just at the outset.
• A client care letter is good practice but not mandatory — what is mandatory is that the required information is given (it can be conveyed by other means, proportionately).
• The 8-week trigger (refer to LeO) vs the client's 6-month window to bring it to LeO — different clocks; don't conflate.
• Confusing LeO's £75,000 cap with anything the SRA does — the SRA disciplines, it does not award client compensation.